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Canadian financial institutions - including banks, credit unions, insurance companies and securities/investment firms - face an increasingly complex regulatory web. Regulators in Canada and globally are imposing increased pressure on financial institutions to assess, monitor and mitigate regulatory and operational risks.

In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues - including those created by social media and emerging technologies - and manage the human resources and technological requirements to get the job done. The speed of change is rapid and the demands are increasing.

Back for its 10th year! This intensive OsgoodePD Certificate program was developed by a select group of industry experts to provide you with a comprehensive understanding of compliance requirements and strategies to meet them. This 5-day course covers the intersection of compliance and enterprise risk management and provides you with best practices to effectively manage both risk and compliance as part of your organization’s essential line of defence. You will emerge from this valuable program armed with the most up-to-date knowledge, strategies and tactics you need to develop, implement or re-energize a state-of-the-art compliance program within your organization.

This program will cover:

  • Fundamentals of regulatory compliance for financial institutions
  • How to effectively identify, mitigate and control risks
  • Essential components of an effective compliance program
  • Federal and supervisory authorities, their objectives, powers and responsibilities
  • Impact of international standard setting organizations
  • How major regulators regulate and supervise
  • Correlations between governance, risk management and compliance (GRC)
  • How to become an effective partner and energize your organization
  • Effectively implementing a code of business conduct and ethics
  • Managing a regulatory examination, investigation and incident
  • Best practices for crisis management and response
  • Strategies for managing high risk issues
  • How to manage social media and industry disruptors like data analytics, bitcoin, blockchain and fintech and other unregulated financial services players
  • Emerging challenges in compliance and what you need to do to prepare

NEW! ONLINE PRIMERS – COMPLIANCE FOUNDATIONS

Designed to cover the fundamentals on core compliance concepts, or for those who want a refresher, these succinct ‘virtual classes’ are available to view on-demand, on your schedule and are mobile friendly.

· The Regulatory Landscape Primer for Financial Institutions (approx. 52mins)

· Privacy, Outsourcing & AML Primer for Financial Institutions (approx. 80mins)

· Technology & Industry Disruptors Primer for Financial Institutions (approx. 77mins)

Faculty

Program Directors

  • Jasmin Jabri, Compliance Executive
  • Geoff Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
  • Joann Sochor, AVP, Corporate Compliance, Sun Life

Program Advisory Board

  • Paola Cifelli, Associate General Counsel, Enterprise Regulatory Office, Legal, Corporate & Compliance Group, BMO Financial Group
  • John Lewsen, Head of Insurance Compliance, Legal, Corporate & Compliance Group, BMO Financial Group, Chief Compliance Officer, BMO Life Assurance Company & BMO Life Insurance Company
  • Katherine Macpherson, National Leader, Operational Risk: Financial Services Advisory, Ernst & Young LLP
  • Andrew Mushore, Chief Compliance Officer, Bridging Finance Inc.
  • Ilona Niemi, VP, Head of Compliance, Zurich Insurance Company Ltd. (Canadian Branch)

2020 Faculty Included

  • Michael Abate, Senior Manager, Omnia AL, Deloitte LLP
  • Dan Adamson, CTO and Co-Founder, PointChain Technologies
  • Darcy Ammerman, McMillan LLP
  • Kent Andrews, Senior Vice President, Regulatory Risk, TD Bank Group
  • Claude Baksh, Chief Compliance Officer, Chief Risk Officer & Chief AML Officer, Computershare
  • Naomi Bartlett, Vice President, Compliance, Canadian Brokerage and International Wealth & Insurance, Global Compliance, Scotiabank
  • J-P Bernier, Retired Executive from Canada’s Financial Industry with International Exposure
  • Sarah Bradley, Ombudsman and Chief Executive Officer, Ombudsman for Banking Services and Investments (OBSI)
  • Frank Chong, Vice-Chair, Canadian Council of Insurance Regulators (CCIR), and VP and Deputy Superintendent, Regulation, BC Financial Services Authority
  • Jill Clark, Senior Director, Capital Markets and Internal Audit, CIBC World Markets Inc.
  • Stephanie Corvese, HBSc, MFSc, ACE, GCFE, Senior Associate Digital Forensics and Cyber Security, Grant Thornton LLP
  • Julie Clarke, General Counsel, Portland Investment Counsel
  • Rebecca Cowdery, Borden Ladner Gervais LLP
  • Mary Joyce Empensando, Chief Compliance Officer, Questrade, Inc. | Questrade Wealth Management Inc.
  • Toni Evans, CPA, CA, Managing Director, Regulatory & Policy Governance, TD Asset Management
  • John Fabello, Torys LLP
  • Matin Fazelpour, Hicks Morley LLP
  • Pat Forgione, McMillan LLP
  • Tyler Fleming, Director, Investor Office, Ontario Securities Commission (OSC)
  • Sara Gelgor, LLB, LLM, MBA, ICD.D, Head of Regulatory Compliance, Retail Banking & Wealth Management, HSBC Bank Canada
  • Marsha Gerhart, VP Member Regulation Policy, Investment Industry Regulatory Organization of Canada (IIROC)
  • David Goodis, Assistant Commissioner (Policy & Corporate Services), Office of the Information & Privacy Commissioner of Ontario (IPC)
  • Jocelyn Hung, Manager, Culture & Conduct Risk Division, Office of the Superintendent of Financial Institutions (OSFI)
  • Fabio Iannicca, Chief Operating Officer, NG Group
  • Carolyn Ibele, Director, Culture & Conduct Risk Division, Office of the Superintendent of Financial Institutions (OSFI)
  • Abubakar Khan, Director, Business Advisory Directorate, Office of the Privacy Commissioner of Canada (OPC)
  • Liane Kim, CFA, Chief Risk and Audit Executive, Ontario Power Generation
  • Jessica Leung, Canada Investments Chief Compliance Officer, Mercer Global Investments Canada Limited
  • Danielle Lin, Vice-President, Canadian Banking & Consumer Legislation Compliance, TD Bank Group
  • Kate McGrann, Crawley MacKewn Brush LLP
  • Suzanne Morin, VP, ES Compliance and Chief Privacy Officer, Sun Life
  • Natalie Ochrym, Advisor, The AML Shop
  • Laura Paglia, Borden Ladner Gervais LLP
  • Philippe Pellerin, Acting Director, Supervision Division, Financial Consumer Agency of Canada (FCAC)
  • Waqas Rana, Compliance Executive
  • Kerry Robbins, Vice President & Ombudsman, TD Bank Group
  • Amber D. Scott, Founder, CEO & Chief AML Ninja, Outliers Solutions Inc.
  • David Shuen, Chief Compliance Officer and Chief AML Officer, China Construction Bank Toronto Branch
  • Steven Slavens, Torys LLP
  • Grant Spears, Assistant Vice President, Market Conduct, and Senior Business Compliance Officer, Distribution, Canada Life
  • Felicia Tedesco, Deputy Director, Operations Compliance and Registrant Regulation, Ontario Securities Commission (OSC)

Agenda

Fees

Fees include attendance, online primers, program materials, lunch and break refreshments for each of the 5 days of the program.

Please Note: ONLINE PRIMERS

Included in your (paid) registration is immediate access to the On Demand recordings of 3 Online Primers: 1. "Regulatory Landscape"; 2. "Privacy, Outsourcing & AML"; 3. "Technology & Industry Disruptors".

To obtain your Certificate, all three Online Primers must be viewed.

In the event of registration cancellation and if one or more Online Primers has been viewed, an Online Primer session fee will apply of $95 + HST per session.

Please follow the instructions below in order to access the online primer prior to the start of the program:
STEP 1. Go to www.osgoodepd.ca and click on CLE Login on the top right of the page.
STEP 2. Enter your login credentials under "Returning Customer".
NOTE: If this is your first time logging into OsgoodePD's platform to view an online program, your username is your email and your password is your last name with the first letter capitalized, as shown on this confirmation.
STEP 3. From your "Order History", select "View Program" and a new screen will open displaying the videos for the primers.

If you have any technical concerns or issues, please call 416.736.5737 or email opdsupport@osgoode.yorku.ca.

Program Changes

We will make every effort to present the certificate program as advertised, but it may be necessary to change the dates, location, speakers or content with little or no notice. In the event of program cancellation, York University and Osgoode Hall Law School’s liability is limited to reimbursement of paid fees.

Cancellations and Substitutions

Substitution of registrants is permitted at any time. If you are unable to find a substitute, a full refund is available if a cancellation request is received in writing 21 days prior to the program date. If a cancellation request is made with less than 21 days notice, a $150 administration fee will apply. No other refund is available.

Technical Support

In the event you experience technical difficulties, please contact opdsupport@osgoode.yorku.ca for assistance.

FAQs

Have a question? Read our FAQs.

Program Details

Questions on program registration?
Please contact the Registration Team at osgoodepd@osgoode.yorku.ca

Questions on the program content?
Please contact the Program Lawyer:
Alexandra Karacsony AKaracsony@osgoode.yorku.ca

Program Details

Date & Time

January 28*, February 18, March 4 & 25, April 15, 2021
8:30 a.m. - 4:30 p.m. EST/EDT
In Person & Webcast

Module 1: Fundamentals of Compliance
January 28
Available as 1-Day program with an option to upgrade to the Certificate Program
Register for Module 1

Location

Osgoode Professional Development Centre,
1 Dundas St. W., 26th Floor Toronto, ON

Fee per Delegate

Certificate: $4,595 + HST

Newly Licensed (2017-present): $2,297.50 + HST

Module One: $895 + HST

Newly Licensed (2017-present): $447.50 + HST

Register Now

Eligible CPD Credit Hours

Who Should Attend

  • Compliance officers and professionals at financial institutions
  • Privacy professionals
  • Risk professionals
  • Operations and risk managers
  • In-house counsel at financial institutions
  • Internal auditors
  • Business or corporate affairs professionals
  • Lawyers in private practice who advise financial institutions
  • Portfolio managers, fund managers and securities dealers
  • Compliance consultants
  • Accountants
  • Anyone interested in a career or a role in compliance

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“Excellent. Clear, high-quality presentations and you [can tell] that the speakers enjoy being there. It also [includes] hands-on application and is full of information about the ‘real-life’ in compliance.”
Diane Hachem, Regulatory Investigator, Law Society of Ontario

“The quality of the whole program was excellent. It covered a broad variety of relevant and up-to-date subjects. I was really impressed by the instructors’ expertise and wealth of experience and [the] real-life experiences that enriched the effectiveness of the training. Thank you very much!”
Patricia Pacanchique, Director, Pension Policy – OMERS Administration Corporation

“Great to get information on the new technology implications (crypto and social media). Real-life examples were very helpful.”
Helen D.K. Friedman, Partner-Risk Management, Miller Thomson LLP


Module One: Fundamentals of Compliance

“As someone new to the “formal” world of compliance, the discussions around risk management approaches and the linkages to effective compliance testing/planning was of particular interest to me. The content was very relevant and well-presented – good materials for takeaways.”
Jeff Niehaus, VP, People & Talent Development, eTracks Tire Management Systems

“As a non-compliance, non-risk executive looking to learn more about the subject matter, the course has been wonderful. The presenters are so proficient in their area of expertise that they make complicated issues seem simple.”
David Campbell, Caledon Trust

Hotels & Parking

If you require accommodations in downtown Toronto, OsgoodePD has arranged Corporate Rates with several hotels within walking distance of our downtown conference centre.

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Consider sponsoring an OsgoodePD Continuing Legal Education program or event.